EU Concept for the Use of Force in EU-led Military Operations - Hoofdinhoud

COUNCIL OF Brussels, 2 February 2010 THE EUROPEAN UNION

17168/09 EXT 1

ESDP/PESD

COSDP 1191

PARTIAL DECLASSIFICATION of document: 17168/09 RESTREINT UE dated: 4 December 2009 new classification: none

Subject: EU Concept for the Use of Force in EU-led Military Operations

Delegations will find attached the partially declassified version of the above-mentioned document.

________________________

17168/09 EXT 1 NGR/mk

ANNEX COUNCIL OF Brussels, 4 December 2009

THE EUROPEAN UNION

17168/09 EXT 1 (02.02.10)

ESDP/PESD

COSDP 1191

NOTE

From: European Union Military Staff

To: European Union Military Committee

No. Prev. doc.: EUMC Mtg Doc 15/1/09 REV 1

Subject: EU Concept for the Use of Force in EU-led Military Operations

Delegations will find attached the EU Concept for the Use of Force in EU-led Military Operations, which was agreed by the EUMC on 21 October 2009.

This document supersedes the 'Use of Force Concept for EU-led Military Crisis Management

Operations - 1st Revision' (6877/06).

NOT DECLASSIFIED ________________________

TABLE OF CONTENTS

Section Title Page

PART I INTRODUCTION..................................................................................................6

A. Introduction..............................................................................................................6 B. Aim ..........................................................................................................................6 C. Scope........................................................................................................................7

PART II OVERALL APPROACH AND LEGAL FRAMEWORK .................................9

D. General aspects ........................................................................................................9 E. Legal framework ....................................................................................................10 F. Knowledge of HRL and the LOAC .......................................................................16

PART III USE OF FORCE ..................................................................................................18

G. Definition ...............................................................................................................18 H. Legitimacy of use of force .....................................................................................24 I. Rules of Engagement (ROE) .................................................................................25 J. Reporting................................................................................................................34

PART IV MISCELLANEOUS PROVISIONS ...................................................................36

Annexes

A. NOT DECLASSIFIED).......................................................................................37 B. Illustration of the ROE procedure..........................................................................83 C. List of Acronyms Used ..........................................................................................84

REFERENCES 1

A. Treaty on European Union.

B. Council Decision 2001/78 i/CFSP of 22 January 2001 (OJ L 27, 30.1.2001, p. 1).

C. North Atlantic Treaty (Washington DC, 4 April 1949).

D. Treaty of Economic, Social and Cultural Collaboration and Collective Self-Defence (Brussels,

17 March 1948); as amended by the Protocol signed in Paris on 23 October 1954.

E. Handbook for Police Officers Deployed in EU Police Missions (2004).

F. Code of Conduct for Law Enforcement Officials (UN General Assembly Resolution 34/169

dated 17 December 1979).

G. Basic Principles of the Use of Force and Firearms by Law Enforcement Officials (adopted at

the 8th Congress on Prevention of Crime and the Treatment of Offenders, Havana, 27 August to 7 September 1990).

H. Charter of the United Nations (San Francisco, 26 June 1945).

I. Code of Conduct on Politico-Military Aspects of Security (CSCE Budapest Document, dated

5 and 6 December 1994).

J. An Agenda for Peace (UN Secretary General Report, dated 17 June 1992).

K. European Security Strategy (Doc.15895/03, dated 8 December 2003).

L. Council Framework Decision 2002/475/JHA of 13 June 2002 on Combating Terrorism

(OJ L 164, 22.6.2002, p. 3).

M. Suggestions for procedures for coherent, comprehensive EU crisis management

(Doc. 11127/03, dated 03 July 2003).

N. UN Security Council Resolution 1778 dated 25 September 2007.

O. (European) Convention for the Protection of Human Rights and Fundamental Freedoms

(Rome, 4 November 1950), as amended and supplemented.

P. International Covenant on Civil and Political Rights (New York, 16 December 1966).

Q. Convention against Torture, Cruel, Inhuman or Degrading Treatment or Punishment

(New York, 10 December 1984).

R. Charter of Fundamental Rights of the European Union (OJ C 364, 18.12.2000, p. 1).

1 The use of this list of references does not in any way prejudge whether these texts have a legally binding

character and the order of references does not reflect any hierarchy.

S. Hague Conventions of 18 October 1907.

T. Geneva Conventions (I-IV) of 12 August 1949.

U. Protocol Additional to the Geneva Conventions of 12 August 1949, and relating to the

Protection of Victims of International Armed Conflicts (Protocol I) (Geneva, 8 June 1977).

V. Protocol Additional to the Geneva Conventions of 12 August 1949, and relating to the

Protection of Victims of Non-International Armed Conflicts (Protocol II) (Geneva, 8 June 1977).

W. Protocol Additional to the Geneva Conventions of 12 August 1949, and relating to the

Adoption of an Additional Distinctive Emblem (Protocol III) (Geneva, 8 December 2005).

X. Convention on the Safety of United Nations and Associated Personnel (New York,

9 December 1994).

Y. UNMIK Regulation No. 1999/1 on the authority of the Interim Administration in Kosovo,

dated 25 July 1999.

Z. Guidelines on the Promotion of International Humanitarian Law (Doc. 15246/05,

dated 5 December 2005).

AA. Mainstreaming of Human Rights into ESDP (Doc. 11936/4/06 REV 4, dated

14 September 2006).

BB. Council Conclusions on Gender Mainstreaming (Doc. 14779/06, dated 13 November 2006).

CC. Check List to Ensure Gender Mainstreaming and Implementation of UNSCR 1325 in the

Planning and Conduct of ESDP Operations (Doc.12068/06, dated 27 July 2006).

DD. UN Security Council Resolution 1820 dated 19 June 2008.

EE. EU Guidelines on Children and Armed Conflict (Doc. 10019/08, dated 5 June 2008).

FF. Draft General Review of the Implementation of the Checklist for the Integration of the

Protection of Children Affected by Armed Conflict into ESDP Operations (Doc. 9822/08, dated 23 May 2008).

GG. Generic Standards of Behaviour for ESDP Operations (Doc. 8373/3/05 REV 3,

dated 18 May 2005).

HH. Optional Protocol to the Convention on the Rights of the Child on the involvement of

Children in Armed Conflict (New York, 25 May 2000).

II. Rome Statute of the International Criminal Court (Rome, 17 July 1998).

JJ. NATO Glossary of Terms and Definitions / Glossaire OTAN de termes et définitions

(NATO Doc. AAP-6(2008)).

KK. Council Common Position 2003/444/CFSP of 16 June 2003 (OJ L 150, 18.6.2003, p. 68).

LL. Agreement between the International Criminal Court and the European Union on Cooperation

and Assistance (Luxembourg, 10 April 2006, OJ L115, 28.4.2006, p. 50).

________________________

PART I – INTRODUCTION

A. INTRODUCTION

• 1. 

  The use of force is a necessary tool in EU-led military operations. The authorisation of, and

  guidance on, the use of force in such operations must be given by the competent political authorities on the basis of military and legal advice. This authorisation and guidance is an essential part of the political guidance and strategic direction over EU-led military operations, which is exercised by the Political and Security Committee (PSC) under the authority of the

  Council. 1

• 2. 

  All use of force in EU-led military operations - in self-defence and under the Rules of

Engagement (ROE) - must always be in conformity with international standards, especially

international law as defined in applicable international treaties, customary international law

and relevant decisions by international organisations. Competent authorities 2 at an

international, regional and national level must ensure that the use of force policy and ROE remain within the mandate and do not jeopardise the execution of the military operation or put lives at stake unnecessarily. The EU will take the necessary measures to that end.

B. AIM

• 3. 

  The purpose of this paper is to define the framework and principles for the use of force by

  military units and individuals in EU-led military operations. It also aims to serve as a reference document for defining principles of use of force, including ROE, for any EU-led military contribution to other military operations.

1 See Article 25 TEU (Ref. A) and Council Decision 2001/78 i/CFSP (Ref. B).

2 The generic term of competent authorities is used to denote that in the event an EU-led military operation is

launched, different levels of competent decision-making will co-exist, including internal EU and external actors, including the UN Security Council.

C. SCOPE

• 4. 

  This Use of Force concept describes the overall approach to the use of force and its legal

  framework, sets out the EU procedures for requesting, authorising and implementing ROE, and presents a compendium of ROE in Annex A.

• 5. 

  This concept does not address or affect the remit of bodies within the Union by virtue of the

  relevant provisions in the Treaty on European Union (TEU, Ref. A). It does not affect the decision-making powers of national authorities in the exercise of full command over their armed forces, nor does it prejudice ad hoc decisions on the conditions under which contributing States may put forces at the disposal of the Union for performance of the tasks envisaged by Article 17 TEU.

• 6. 

  The legal issues raised and policy choices made in this concept are not intended to create new

  bases for use of force under international law. Neither is this concept intended to affect the existing rules on the legality of the use of force in international law.

• 7. 

  As the policy of the Union shall respect the obligations of certain Member States (MS), which

  see their common defence realised in the North Atlantic Treaty Organisation (NATO) under the North Atlantic Treaty (Ref. C), this concept does not address the use of force in the context of collective defence as foreseen in Article 5 of the North Atlantic Treaty or Article V of the modified Brussels Treaty (Ref. D), nor does it prejudice the specific character of the

  security and defence policy of any MS. 1

1 Article 17, para. 1, 2nd alinea TEU (Ref. A).

• 8. 

  EU-led military operations will not normally include the execution of law enforcement functions. In the present Use of Force concept, this situation is not elaborated upon. 1

  However, should these functions have to be performed clear guidance and strict limitations

  will be issued regarding law enforcement tasks in the mission statement of the operation. 2

  Specific planning will be taken up to ensure the correct execution of those functions.

  ________________________

1 The Police Unit of DGE IX of the Council General Secretariat has developed a handbook of police related

documents on Operations, Training, Exercises and Logistics (latest version June 2004, Ref. E). Planning for operations may usefully draw on the documents contained in that handbook. Planning assistance will be made available as required by the Council General Secretariat through the EU Military Staff.

2 For HRL guidance in this respect, see e.g. Refs. F and G.

NOT DECLASSIFIED FROM THIS POINT UNTIL THE PAGE 83) ANNEX C

LIST OF ACRONYMS USED

AD Air Defence

AEW Airborne Early Warning

AOI Area of Interest

AOO Area of Operations

CAS Close Air Support

CFSP Common Foreign and Security Policy

CMC Crisis Management Concept

CMO Crisis Management Operation

CNA Computer Network Attack

CND Computer Network Defence

CNE Computer Network Exploitation

CONOPS Concept of Operations

CSCE Conference on Security and Cooperation in Europe

DESIG Designate/Designated/Designation

DRC Democratic Republic of the Congo

ECHR European Convention for the Protection of Human Rights and Fundamental Freedoms

ECtHR European Court of Human Rights

ECJ European Court of Justice

ECM Electronic Counter Measures

ESDP European Security and Defence Policy

ESS European Security Strategy

EU European Union

FAC Forward Air Controller

FCdr Force Commander

FHQ Force Headquarters

HRL Human Rights Law

ICAO International Civil Aviation Organisation

ICC International Criminal Court

ICCPR International Covenant on Civil and Political Rights

17168/09 EXT 1 NGR/mk 84 ICRC International Committee of the Red Cross

IFF Identification Friend or Foe

IHL International Humanitarian Law

IMD Initiating Military Directive

JOA Joint Operations Area

LOAC Law of Armed Conflict

MPA Maritime Patrol Aircraft

MS Member State/s

MSO Military Strategic Option

NATO North Atlantic Treaty Organisation

NFZ No-Fly-Zone

NSE National Support Element

OAS Offensive Air Support

OpCdr Operation Commander

OPCON Operational Control

OPCOM Operational Command

PDSS Persons with Designated Special Status

PPI Political Policy Indicator

PPS Political Policy Statement

PRDSS Property with Designated Special Status

PSC Political and Security Committee

OHQ Operation Headquarters

OpCdr Operation Commander

OPLAN Operation Plan

PPS Political Policy Statement

ROE Rules of Engagement

ROEAUTH ROE Authorisation

ROEIMPL ROE Implementation

ROEREQ ROE Request

SAC Scene of Action Commander

SEAD Suppression of Enemy Air Defences

SOFA Status of Forces Agreement

SOP Standard Operating Procedures

TCN Troop Contributing Nation

17168/09 EXT 1 NGR/mk 85 TEU Treaty on European Union

UKHL United Kingdom House of Lords Decision

UN United Nations

UNSC United Nations Security Council

UNSCR United Nations Security Council Resolution

WEU Western European Union

17168/09 EXT 1 NGR/mk 86

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